NECESSITY,
FUNCTION, AND CONFORMITY: KRS 322.290(4) requires the board to promulgate
administrative regulations to carry out the conduct of proceedings before it.
KRS 13B.170(1) authorizes the board to promulgate administrative regulations
necessary to carry out the provisions of that chapter. This administrative
regulation establishes procedural guidelines for administrative hearings as
authorized by KRS 322.290(4) and 13B.170(1).

(2) "Administrative
complaint" means a written accusation filed by the board's general counsel
with the board and with the Office of the Attorney General, Administrative
Hearings Division alleging a violation by a licensee of KRS Chapter 322 or a
provision of 201 KAR Chapter 18.

(3) "Administrative
hearing" or "hearing" is defined by KRS 13B.010(2).

(4) "Board"
means the Kentucky State Board of Licensure for Professional Engineers and Land
Surveyors.

(5)
"Charge"
means a written accusation of a violation of a provision of KRS Chapter 322 or
of 201 KAR Chapter 18, contained in an administrative complaint.

(6) "Consent
decree" means an order entered by the board with the agreement of a
respondent.

(7) "Default"
means a failure of a respondent to file an answer to an administrative
complaint, to attend or participate in a prehearing conference, hearing, or
other stage of the administrative hearing process, or to comply with the orders
of a hearing officer.

(8) "Division"
is defined by KRS 13B.010(8).

(9) "Final
order" is defined by KRS 13B.010(6).

(10) "Hearing
officer" is defined by KRS 13B.010(7).

(11) "Investigation
review advisor" means a present or former member of the board, selected by
the board chairman in consultation with the executive director, to
independently review an investigation and provide the executive director with
his or her opinion as to the propriety of filing an administrative complaint
against the subject of the investigation, and to make suggestions regarding the
nature of the charges, the appropriate penalty, and terms for settlement.

(12) "Letter of complaint"
means a factual statement made in writing, by a person or organization, to the
board, alleging a possible violation of a provision of KRS Chapter 322 or 201
KAR Chapter 18.

(13) "Licensee"
means an individual or business entity licensed
to practice engineering or land surveying in this Commonwealth pursuant to KRS Chapter 322.

(16) "Respondent"
means a licensee who is the subject of an investigation by the board for a
violation of KRS Chapter 322 or 201 KAR Chapter 18.

(17)
"Settlement conference" means a conference between board staff and a respondent and his or her attorney, if any, to attempt
to resolve matters raised in an administrative complaint or charge.

(18)
"Violation" means an act or failure to act that is in conflict with a
provision of KRS Chapter 322 or 201 KAR Chapter 18.

Section 2. Letter of Complaint, and
Investigation.
(1) A letter of complaint shall be in writing, be
signed by the individual making the allegations, and shall allege facts showing why that individual believes
that a violation has occurred.

(2)
An investigation shall be made of every complaint.

(3)
An investigation may also be made without the receipt of a letter of complaint
if information within the knowledge of the board or board staff indicates that
a violation may have been committed.

Section
3. Disposition Following Investigation. (1) Following the completion of the investigation,
if it appears to the executive director that no violation has occurred, or that
the matter does not warrant further action, the executive director shall
terminate any further proceedings and the matter shall be closed.

(2) If, following the
completion of the investigation, it appears to the executive director that the
respondent may have committed one (1) or more violations sufficient to warrant
a charge or charges against that licensee, then to resolve the matter, the
executive director shall:

(a)
Issue a letter of admonishment to the respondent;

(b)
Negotiate a proposed consent decree with the respondent, which shall, after
execution by the respondent, be presented to the board for approval or
rejection; or

(c)
Cause an administrative complaint to be filed.

(3)
If a proposed consent decree is rejected by the board, the executive director
shall either try to resolve the matter with another proposed consent decree, or
shall proceed with an administrative complaint;

(4)
The board may enter into a settlement conference following the completion of
the investigation.

(5)
Prior to causing an administrative complaint to be filed, the executive
director may request that the board chairman designate one (1) or two (2)
investigative review advisors who shall independently review the investigation,
and shall submit to the executive director, their independent opinions as to
the propriety of filing an administrative complaint against the subject of the
investigation, and suggestions regarding the nature of the charges, the
appropriate penalty, and terms for settlement.

(6)
A former board member who serves as an investigative review advisor shall be
compensated at the same rate as provided for a board member who so serves.

(7)
A board member who serves as an investigative review advisor for a specific
disciplinary action, shall not thereafter participate in the determination of a
final order in that same action, except that he or she may participate in the
consideration of a proposed consent decree.

(8)
An individual who has filed a letter of complaint shall be notified of the
disposition of the subject matter upon its resolution.

Section
4. Administrative Complaints. An administrative complaint shall be in plain
language in the pleading form used in the circuit courts of this Commonwealth
and shall be signed by the board's general counsel.

Section
5. Actions. (1)
An action shall be commenced by sending notice and a copy of the administrative
complaint to the licensee at the address for the licensee on file with the
board, with a copy to the Office of the Attorney General, Hearing Officer
Division consistent with the provision of KRS Chapter 13B.

(2) The board shall file
proof of notice with the hearing officer.

(3)
Within
twenty (20) days of notice, a respondent shall file an answer with the board
and with the hearing officer.

(4)
The hearing shall be conducted according to the provisions of KRS Chapter 13B.

Section 6. Default. A default
shall be deemed a confession of all material allegations contained in the administrative
complaint.

Section
7. Amended
Pleadings. (1) A party, as a matter of right, may amend a pleading.

(a)
A pleading shall not be amended later than thirty (30) days before a scheduled
hearing.

(b)
A party seeking to amend a pleading within a period less than thirty (30) days
before a scheduled hearing shall amend a pleading only by consent of the
adverse party or by leave of the hearing officer, and leave shall be freely
given if justice so requires.

(2)
If an amended pleading introduces new legal or factual issues that cannot
reasonably be met by the opposing party prior to the scheduled hearing, the
hearing officer shall continue the hearing.

Section.
8. Final Order and Consent Decree. (1) If an administrative complaint has been filed,
and the matter resolved by means of a consent decree, the consent decree entered
by the board is a final order as established by KRS Chapter 13B.

(2) A consent decree shall
not be binding on the parties until approved by the board.

(3)
If a final order or consent decree provides that the
executive director shall suspend or revoke a license for failure of the
licensee to comply with the terms of the final order or consent decree, the executive
director shall suspend or revoke the license for failure to comply according to
the terms of the final order or consent decree.

(4) If a final order or consent decree does not include a
provision for suspension or revocation of a license for the licensee's failure
to comply with the terms of the final order or consent decree, and the
executive director has probable cause to believe that a respondent has violated
the terms of a final order or consent decree, the executive director shall
cause a show cause order, over the signature of the board's general counsel, to
be issued to the respondent, with a copy to the Office of the Attorney General,
Hearing Officer Division.

(5)
The show cause order shall meet the requirements of a notice and shall be
treated as an administrative complaint for procedural purposes.